Curtis A. Ervin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Curtis Alonzo James Ervin, who also goes by Curtis A J Ervin Jr, Curtis Alonzo James Ervin, Curtis Alonzo James Ervin Jr, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1986. Curtis had worked at 8 firms and has passed the Series 66, Series 63, Series 3, Series 55, Series 7, Series 8, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - January 28, 2013
MORGAN STANLEY
June 1, 2009 - January 28, 2013
MORGAN STANLEY
December 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 18, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 4, 1995 - July 28, 2005
MURIEL SIEBERT & CO., LLC
October 14, 1994 - January 13, 1995
WS CLEARING, INC.
October 29, 1993 - August 18, 1994
GLOBALCOMM SECURITIES, INC.
June 28, 1993 - November 2, 1993
WELLS FARGO CLEARING SERVICES, LLC
March 5, 1987 - June 25, 1993
JMC INVESTMENT SERVICES, INC.
May 23, 1986 - February 13, 1987
BA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/20/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 7/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
